Mark Margiotta
Vice President at Janney Montgomery Scott LLC
- Role
- Vice President at Janney Montgomery Scott LLC
- Location
- Princeton Junction, NJ, US
- LinkedIn followers
- 500 followers
Experience
Vice President
Feb 2016 — Present
Manager, Retail Compliance Program - Surveillance (20••••18), Retail & Cap. Mkts. Branch Exams (2016- present), Control Room (2021-present)Responsibilities: Manage Branch Exam program and Examiners. Manage review of outside accounts and Watch/Restricted Lists. OBAs, PSTs, Fiduciary relationships, Author policies, Annual Compliance Mtg, Annual Emp. Cert, Heightened Supervision Plans, regulatory responses, FA candidate meetings, New BOM training, Presentations-Regional Directors, Ops Mgr. training.
Skills
- Mycomplianceoffice
- Regulations
- Electronic Trading
- Equities
- Operational Risk Management
- Six Sigma
- Lopr
- Quality Auditing
- Trading
- Finra
- Series 24
- Finra Rule 3270
- Fixed Income
- Wealth Management
- Series 63
- Retail Brokerage
- Options
- Control Room
- Ofac
- Brokers
- Aml
- Registration
- Securities Regulation
- Securities
- Compliance Audits
- Investments
- Compliance
- Licensing
- Finra Rule 3040
- Finra Rule 2020
- Finra Rule 3050
- Anti Money Laundering
- Due Diligence
- Hedge Funds
- Financial Services
- Operational Risk
- Capital Markets
- Series 7
- Financial Risk
- Asset Management
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